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Former SEC-registered adviser

C•••••• O•• P••••••• M••••••••• L•••

Former SEC-registered adviserWestport, ConnecticutCRD 156621SEC 801-73749IAPD
Latest filing Mar 25, 2014
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$332M gross assets
History
5 filings and snapshots on the tape
RAUM$332M as of Mar 25, 2014
Mar 28, 2013$364M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 28, 20130 then
Employees (5.A)6 as of Mar 25, 2014
Mar 28, 20137 then
Private funds3 as of Mar 25, 2014
Mar 28, 20134 then
RAUM -8.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$111MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$332M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$332M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• O•• P•••••••Hedge Fund$282M31Feb 14, 2012
      C•• S••Other Private Fund$29.1M86Feb 14, 2012
      C•••••• O•• M••••• F•••• L•••Hedge Fund$20.9M5Feb 14, 2012
      C•••••• O•• P••••••• I•• L•••Hedge Fund$20.7M10Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• C••••• A••••• · Chief Financial Officercontrol
        since 01/2008 · owns less than 5%
      • C•••••• J•••••• M•••• · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • F•••• J••••••• N••••• · Partnercontrol
        since 04/2003 · owns 25% to 50%
      • P•••••• M•••••••• I•••• · Partnercontrol
        since 02/2007 · owns 10% to 25%
      • Z•••••• D••••••• J••••• · Partnercontrol
        since 04/2003 · owns 25% to 50%
      • F•••• J••••••• N••••• · Managing Membercontrol
        since 04/2003 · owns 75% or more of C•••••• O•• G•• L••
      Entity owners
      • C•••••• O•• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• O•• M••••••••• G• L••
        investment adviserpooled vehicle sponsorn
      • F••• P•••••••• L•••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Sep 26, 2013 to Mar 25, 2014
      • Assets in custody · $323M to $332M
        Sep 26, 2013 to Mar 25, 2014
      • Employees · 7 to 6
        Sep 26, 2013 to Mar 25, 2014
      • Discretionary RAUM · $323M to $332M
        Sep 26, 2013 to Mar 25, 2014
      • RAUM · $323M to $332M
        Sep 26, 2013 to Mar 25, 2014
      • Accounts · 5 to 3
        Apr 16, 2013 to Sep 26, 2013
      • Assets in custody · $364M to $323M
        Apr 16, 2013 to Sep 26, 2013
      • Private funds · 4 to 3
        Apr 16, 2013 to Sep 26, 2013
      • Discretionary RAUM · $364M to $323M
        Apr 16, 2013 to Sep 26, 2013
      • RAUM · $364M to $323M
        Apr 16, 2013 to Sep 26, 2013
      • Advisory employees · unset to 4.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $297M to $364M
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 7.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $297M to $364M
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $297M to $364M
        Feb 14, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026